Gregg A. Marks

ESTATE PLANNERS OF NEW ENGLAND

Portsmouth, NH 03801

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CRD#: 1908146

Professional summary

Gregg Adam Marks, who also goes by Gregg Marks, is a registered financial advisor currently at ESTATE PLANNERS OF NEW ENGLAND, LLC located in Portsmouth, New Hampshire.

Gregg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Gregg has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 86, Series 87, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregg Marks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Adam Marks's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 28, 2023 - Present

ESTATE PLANNERS OF NEW ENGLAND, LLC

Office #1: 1 New Hampshire Ave Suite 125, Portsmouth, NH 03801

RIA

CRD#: 133353

Portsmouth, NH

Past

May 28, 2019 - July 24, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MERRIMACK, NH

Past

May 14, 2019 - July 23, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

August 12, 2011 - April 9, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FLORHAM PARK, NJ

Past

August 12, 2011 - April 9, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FLORHAM PARK, NJ

Past

March 21, 2007 - August 22, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FLORHAM PARK, NJ

Past

January 5, 2007 - August 22, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FLORHAM PARK, NJ

Past

February 10, 2004 - February 2, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 25, 2002 - February 9, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MORRISTOWN, NJ

Past

October 18, 2002 - February 9, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 25, 1995 - October 16, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

April 25, 1995 - October 16, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 18, 1992 - May 1, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 21, 1990 - September 24, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Hampshire
(7/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/9/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 8/1/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/21/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 31

Date: 8/9/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/19/1990

General Securities Representative Examination

Current Firm

ESTATE PLANNERS OF NEW ENGLAND, LLC

ESTATE PLANNERS OF NEW ENGLAND, LLC | FIDUCIARY ADVISOR SOLUTIONS

CRD#: 133353 / SEC#: 801-64743

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Florida

Registered Investment Advisory firm - (7/9/2015 Approved)

Maine

Registered Investment Advisory firm - (12/15/2020 Approved)

Massachusetts

Registered Investment Advisory firm - (3/27/2013 Approved)

New Hampshire

Registered Investment Advisory firm - (6/28/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1 New Hampshire Ave Suite 125, Portsmouth, NH 03801

Mailing Address

Phone number

(603) 766-4951

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 52,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gregg A. Marks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Adam Marks's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2023

Series 66

Date: 4/9/2007

Series 63

Date: 12/5/1990

SIE

Date: 10/1/2018

Series 86

Date: 8/1/2005

Series 87

Date: 12/21/2004

Series 31

Date: 8/9/2003

Series 7

Date: 11/19/1990

Current Firm

ESTATE PLANNERS OF NEW ENGLAND, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ESTATE PLANNERS OF NEW ENGLAND, LLC

TRUST BUT VERIFY

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